Private Equity Compliance Manager

Larson Maddox; Houston (TX); On-site; USD 150,000 - 180,000; Full time

Job summary

Larson Maddox in Houston seeks a Private Equity Compliance Manager to join its leadership team. The role blends internal leadership with client-facing work and will lead a team of compliance specialists while advising private fund clients on regulatory matters.

The position emphasizes Form ADV and Form PF filings, policy development, marketing material review, Code of Ethics administration, and annual compliance reviews, with a strong growth trajectory for the firm.

Qualifications

• Significant private funds compliance experience with a focus on private equity.
• Direct report experience is required.
• Experience with Form ADV and Form PF filings.
• Develop and maintain policies & procedures.
• Experience reviewing marketing materials.
• Code of Ethics administration experience.
• Experience conducting annual compliance reviews.
• Background at a PE firm, private fund manager, compliance consulting firm, law firm, the SEC, or regulatory body.

Responsibilities

• Manage, mentor, and develop a team of compliance SMEs.
• Oversee client engagements and ensure compliance deliverables.
• Lead regulatory filings including Form ADV and Form PF.
• Draft, review, and maintain compliance policies and procedures.
• Review marketing and advertising materials.
• Administer and oversee Code of Ethics programs.
• Lead annual compliance reviews and testing initiatives.
• Manage compliance certifications and employee attestations.
• Serve as trusted advisor to private fund clients, especially PE managers.

Skills

Private funds compliance

Form ADV filings

Form PF filings

Team leadership

Policies & procedures

Marketing material review

Code of Ethics administration

Annual reviews

Compliance certifications

PE firm background

Job description

Compensation: $150,000 - $1800,000 + Bonus

A rapidly growing consulting firm specializing in private equity compliance, is seeking a Private Equity Compliance Manager to join its leadership team.

Currently operating as a boutique platform, the firm is entering a significant growth phase with approximately a dozen approved hires, plans to substantially expand headcount over the coming years, and the anticipated launch of two new business lines. This is an opportunity to join a firm at a pivotal stage of growth and play a key role in shaping both the team and client service offering.

The position will be split roughly 50/50 between internal leadership and client-facing responsibilities. This individual will oversee and develop a team of compliance Subject Matter Experts while also serving as a lead advisor to private fund clients, ensuring the delivery of high-quality compliance solutions and regulatory support.

Key Responsibilities:

• Manage, mentor, and develop a team of compliance Subject Matter Experts
• Oversee client engagements and ensure successful execution of compliance deliverables
• Lead regulatory filing processes, including Form ADV, Form PF, and related filings
• Draft, review, and maintain compliance policies and procedures
• Conduct marketing and advertising material reviews
• Administer and oversee Code of Ethics programs
• Lead annual compliance reviews and testing initiatives
• Manage compliance certifications and employee attestations
• Serve as a trusted compliance advisor to private fund clients, particularly private equity managers

Desired Background:

• Significant private funds compliance experience with a strong focus on private equity
• Must have direct report experience
• Form ADV and Form PF filings
• Policies & procedures development and maintenance
• Marketing material review
• Code of Ethics administration
• Annual reviews
• Compliance certifications
• Background from a private equity firm, private fund manager, compliance consulting firm, law firm, the SEC, or another regulatory organization